RIA Archives - itSynergy https://itsynergy.com/category/ria/ Wed, 11 Jun 2025 07:14:51 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.1 https://itsynergy.com/wp-content/uploads/2023/07/favicon-150x150.png RIA Archives - itSynergy https://itsynergy.com/category/ria/ 32 32 RIA’s Guide to SEC Regulation S-P Compliance https://itsynergy.com/rias-guide-to-sec-regulation-s-p-compliance/ Mon, 06 Jan 2025 04:39:47 +0000 https://itsynergy.com/?p=271562 Ensuring compliance with regulatory standards is critical for RIAs. SEC Regulation S-P, also known as the Privacy Rule, mandates that financial institutions, including RIAs, implement policies and procedures to protect customer information. This guide provides an in-depth look at SEC Regulation S-P, its requirements, and how RIAs can develop and implement comprehensive privacy and data…

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]]> Comprehensive Guide to Creating a Disaster Recovery Plan for RIAs https://itsynergy.com/comprehensive-guide-to-creating-a-disaster-recovery-plan-for-rias/ Sat, 04 Jan 2025 13:56:18 +0000 https://itsynergy.com/?p=271559 Ensuring business continuity and protecting client data are critical responsibilities for RIAs. A well-structured disaster recovery plan is essential to address these responsibilities effectively. This comprehensive guide will explore the importance of disaster recovery planning for RIAs, the key components of a disaster recovery plan, and steps to develop, implement, and maintain an effective disaster…

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]]> Free Download: RIA Cybersecurity & Compliance Checklist https://itsynergy.com/free-download-sample-ria-cybersecurity-policy/ Fri, 03 Jan 2025 12:58:32 +0000 https://itsynergy.com/?p=271546 Cybersecurity is paramount for RIAs who handle sensitive client information. A robust cybersecurity framework is essential not only to safeguard data but also to ensure regulatory compliance. This blog explains why RIAs need a strong cybersecurity posture, outlines key components of an effective program, and provides a free downloadable checklist to help your firm assess where it…

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]]> How RIAs Can Proactively Prepare for a Cybersecurity Assessment with a Mock Audit https://itsynergy.com/how-rias-can-proactively-prepare-for-a-cybersecurity-assessment-with-a-mock-audit/ Thu, 02 Jan 2025 11:57:22 +0000 https://itsynergy.com/?p=271525 Ensuring robust cybersecurity is critical for RIAs, who handle sensitive client information and operate under stringent regulatory requirements. One effective way RIAs can prepare for cybersecurity assessments is by conducting a mock audit. This proactive approach helps identify potential vulnerabilities and ensures compliance with regulations. This blog will explore the cybersecurity risks faced by RIAs,…

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]]> Compliance and IT are merging, aligning data security with regulatory and operational goals for efficiency. https://itsynergy.com/compliance-and-it-are-merging-aligning-data-security-with-regulatory-and-operational-goals-for-efficiency/ Wed, 21 Aug 2024 13:30:03 +0000 https://itsynergy.com/?p=271549 But Cybersecurity Experts Are Needed More Than Ever. The responsibility for cybersecurity has traditionally been shared between compliance and IT departments. But what happens when the functions of those two departments converge? This is an issue many companies are currently facing. Compliance and IT are overlapping as company structures adapt to cloud computing, the work-from-anywhere…

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]]> The Ultimate DIY Guide to Navigating and Complying with the SEC’s New Cybersecurity Regulations https://itsynergy.com/the-ultimate-diy-guide-to-navigating-and-complying-with-the-secs-new-cybersecurity-regulations/ Mon, 19 Aug 2024 13:34:08 +0000 https://itsynergy.com/?p=271552 Learn key insights for cybersecurity success to help your firm meet new requirements and achieve full compliance. Are you a Registered Investment Advisor (RIA) navigating the intricate landscape of cybersecurity regulations? With the evolving digital landscape and new regulations from the SEC, ensuring the security of your clients’ data is paramount. Download Now: 2024 RIA…

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